🛡️ Master Third-Party Oversight — In Hours, Not Months

The FCA expects robust governance over every supplier touching your regulated activities. Building a compliant framework from scratch takes weeks of research, drafting, and review.

.... Not anymore!

This comprehensive toolkit gives you everything you need to establish, document, and demonstrate FCA-compliant third-party oversight — ready to deploy immediately.

📦 What's Included

1. Third-Party Risk Oversight Register (Excel)

• 7-worksheet intelligent framework
• Third-party register with all required fields
• Risk assessment matrix with scoring
• Due diligence tracker
• Oversight activities log
• Issues & remediation tracker
• Summary dashboard with RAG status

2. Due Diligence Checklists (30+ pages)

• Pre-assessment questionnaire (all categories)
• Technology & IT services (FG16/5 aligned)
• Compliance & regulatory services
• Customer operations (DISP, Consumer Duty)
• Finance & accounting
• Investment & fund services (COBS 11, CASS 6)
• Data processing & marketing (UK GDPR, PECR)
• Payment services (PSR 2017, PSD2)

3. SLA & Exit Templates Suite (60+ pages, 15 documents)

• Master SLA template (17 clauses)
• KPI library (40+ modular metrics)
• SLA monitoring tracker
• Exit plan template (7-phase framework)
• Supplier offboarding checklist
• Termination clause modules
• Exit readiness assessment
• BC/DR requirements checklist
• Material outsourcing classification worksheet
• Sub-outsourcing register
• RACI accountability matrix
• Board & SMF oversight report template
• FCA notification template
• Consumer Duty impact & exit harm assessment
• Customer communications templates (3 scenarios)

✅ Regulatory Coverage

Every template cites specific FCA Handbook provisions:

SYSC 8 — Outsourcing requirements (8.1.1R – 8.1.11R)

PRIN 2A — Consumer Duty (cross-cutting rules + 4 outcomes)

SMCR — Senior Manager accountability mapping

SYSC 15A — Operational Resilience integration

FG16/5 — Cloud outsourcing guidance

SUP 15.3.11G — Regulatory notifications

UK GDPR Article 28 — Processor obligations

PSR 2017 / PSD2 — Payment services requirements

MLR 2017 — AML outsourcing considerations

⏱️ Why This Toolkit?

Without This ToolkitWith This Toolkit

40+ hours researching requirements - Instant access to proven framework

Weeks drafting from scratch - Deploy within days

Uncertain if you've covered everything - Comprehensive FCA coverage confirmed

No exit plans documented - 7-phase exit framework ready

Consumer Duty gaps - PRIN 2A woven throughout

🎯 Perfect For

• FCA directly authorised firms
• Appointed Representatives
• Payment Services / E-Money institutions
• Investment managers & advisers
• Mortgage brokers & networks
• Consumer credit firms
• Claims management companies
• Compliance consultancies (white-label available)

📁 File Formats

• Excel (.xlsx) — Register with formulas intact
• Word (.docx) — Fully editable templates
• Immediate download after purchase

💬 What Clients Say

"We were preparing for a regulatory visit and needed to demonstrate robust supplier oversight. These templates gave us a defensible framework in days, not weeks."

— Compliance Manager, Investment Management Firm

"The exit planning templates alone were worth the investment. We'd never documented this properly before."

— Head of Operations, Payment Services Provider

🔒 Licence

Standard licence covers use within a single legal entity. For group companies or consultancy use with multiple clients, please enquire about our White-Label Licence.

📞 Need More?

We also offer:

Tailored Templates (£1,495) — Customised with your firm details, branding & SM&CR mapping

Professional Framework Review (£2,995) — Gap analysis + tailored templates + recommendations report by qualified consultants

Implementation Call (+£150) — 1-hour guided walkthrough

Annual Updates (£295/year) — Stay current with regulatory changes

Contact us at info@complianceconsultant.org for bespoke requirements.

COMPLIANCE CONSULTANT

Making Compliance Work